Top Retirement Regulation Stories
Should the SEC ban the use of 'advisor?'
By Melanie WaddellBrokers have created investor confusion by using “advisor” to skirt the ban on using “adviser,” says one industry leader.
Retirement plan rules, regulations and announcements from the DOL, the IRS, and the SEC help advisors stay in compliance and keep their plan sponsors in compliance. Problems with compliance can lead to litigation, but our news and analysis can help you successfully navigate government's often confusing regulations.
Brokers have created investor confusion by using “advisor” to skirt the ban on using “adviser,” says one industry leader.